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Fraud is the big gasp of securities violations, but there are plenty of lesser violations that have nothing to do with fraud but can still torch an investment rep’s career. Making investment recommendations to a client that make no freakin’ sense is one of these prohibited practices that could get a license suspended, denied or even revoked.
Think through Stiffy’s portfolio for Bubbie. Is there a logical defense to something comprised almost entirely of high beta, high p/e, volatile stock...
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